Robert R. Rinaldi
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Richard Rinaldi was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 13 firms and has passed the Series 63, Series 15, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2013 - May 20, 2014
VANDERBILT SECURITIES, LLC
November 25, 2009 - July 3, 2012
WELLINGTON SHIELDS & CO., LLC
November 17, 2004 - December 11, 2009
SHIELDS & COMPANY
February 3, 2004 - October 20, 2004
COVA CAPITAL PARTNERS LLC
October 5, 2001 - August 20, 2002
U.S. SECURITIES & FUTURES CORP.
February 7, 2001 - August 30, 2001
GARDEN STATE SECURITIES, INC.
October 26, 2000 - March 8, 2001
NATIONAL SECURITIES CORPORATION
May 14, 1997 - November 13, 2000
SHARPE CAPITAL, INC.
June 1, 1994 - May 14, 1997
CROWN FINANCIAL GROUP, INC.
September 5, 1990 - May 31, 1994
JANNEY MONTGOMERY SCOTT LLC
May 29, 1990 - September 4, 1990
JJC SECURITIES CO., INC.
September 14, 1979 - May 29, 1990
JSC SECURITIES, INC.
November 27, 1972 - September 15, 1979
KALB, VOORHIS & CO., LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 6/12/1984
Foreign Currency Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 11/20/1972
Registered Representative ExaminationCurrent Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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